DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
M•••••••• C••••••• L••
Latest filing Apr 27, 2026
First filing on the tape Feb 14, 2012 · 46 filings
SEC status approved since Mar 30, 2012
RAUM
$5.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$5.0B as of Apr 27, 2026
Mar 28, 2013$938M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 27, 2026
Mar 28, 20130 then
Employees (5.A)16 as of Apr 27, 2026
Mar 28, 20134 then
Private funds3 as of Apr 27, 2026
Mar 28, 20131 then
RAUM +15% over the last fiscal year+12% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.0BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••••••• M••••• F•••• L••• | Hedge Fund | $1.6B | 92 | Nov 24, 2015 |
| N•••• L•• | Hedge Fund | $1.5B | 189 | Feb 14, 2012 |
| M•••••••• 2• F•••• L• | Hedge Fund | $603M | 2 | Apr 28, 2022 |
| S••no longer reported | Hedge Fund | $548M | 1 | Jul 29, 2021 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••••• S••••• · Managing Membercontrolsince 03/2012 · owns 25% to 50%
- Q••••••• J•••• M••••••• · Chief Compliance Officer, Chief Financial Officercontrolsince 11/2014 · owns less than 5%
- S••••••• L••• · Managing Membercontrolsince 01/2010 · owns 50% to 75%
Related persons
Schedule D 7.A
- M•••••••• 2• G•• L••bankpooled vehicle sponsorn
- M•••••••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Miami, FL3 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $4.4B to $5.0BJul 9, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $4.4B to $5.0BJul 9, 2025 to Mar 23, 2026
- RAUM · $4.4B to $5.0BJul 9, 2025 to Mar 23, 2026
- Financial planning clients · unset to Apr 29, 2025 to Jul 9, 2025
- Other offices · 1 to 0Apr 29, 2025 to Jul 9, 2025
- Advisory employees · 13 to 12Apr 29, 2024 to Apr 29, 2025
- Employees · 17 to 16Apr 29, 2024 to Apr 29, 2025
- Discretionary RAUM · $3.7B to $4.4BApr 29, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $3.7B to $4.4BApr 29, 2024 to Apr 29, 2025
- RAUM · $3.7B to $4.4BApr 29, 2024 to Apr 29, 2025
- Other offices · 0 to 1Jun 26, 2023 to Mar 19, 2024
- Discretionary RAUM · $3.6B to $3.7BJun 26, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $3.6B to $3.7BJun 26, 2023 to Mar 19, 2024
- RAUM · $3.6B to $3.7BJun 26, 2023 to Mar 19, 2024
- Advisory employees · 15 to 13May 6, 2022 to Mar 17, 2023
- Employees · 19 to 17May 6, 2022 to Mar 17, 2023
- Discretionary RAUM · $4.1B to $3.6BMay 6, 2022 to Mar 17, 2023
- Pooled vehicle RAUM · $4.1B to $3.6BMay 6, 2022 to Mar 17, 2023
- RAUM · $4.1B to $3.6BMay 6, 2022 to Mar 17, 2023
- Discretionary RAUM · $3.8B to $4.1BApr 28, 2022 to May 6, 2022
- Pooled vehicle RAUM · $3.8B to $4.1BApr 28, 2022 to May 6, 2022
- RAUM · $3.8B to $4.1BApr 28, 2022 to May 6, 2022
- Discretionary RAUM · $5.6B to $3.8BJul 29, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $5.6B to $3.8BJul 29, 2021 to Mar 17, 2022
- RAUM · $5.6B to $3.8BJul 29, 2021 to Mar 17, 2022
- Accounts · 4 to 5Jul 29, 2021 to Mar 17, 2022
- Advisory employees · 17 to 15Jul 29, 2021 to Mar 17, 2022
- Pooled vehicle clients · 4 to 5Jul 29, 2021 to Mar 17, 2022
- Assets in custody · 1801669584.0 to unsetJul 29, 2021 to Mar 17, 2022
- Custody of client assets · true to falseJul 29, 2021 to Mar 17, 2022
- Employees · 20 to 19Jul 29, 2021 to Mar 17, 2022
- Private funds · 2 to 3Mar 30, 2021 to Jul 29, 2021
- Advisory employees · 15 to 17Mar 23, 2020 to Mar 30, 2021
- Business name · M•••••••• C•••••• L•• to M•••••••• C••••••• L••Mar 23, 2020 to Mar 30, 2021
- Assets in custody · $1.2B to $1.8BMar 23, 2020 to Mar 30, 2021
- Employees · 18 to 20Mar 23, 2020 to Mar 30, 2021
- Legal name · M•••••••• C•••••• L•• to M•••••••• C••••••• L••Mar 23, 2020 to Mar 30, 2021
- Discretionary RAUM · $3.8B to $5.6BMar 23, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $3.8B to $5.6BMar 23, 2020 to Mar 30, 2021
- RAUM · $3.8B to $5.6BMar 23, 2020 to Mar 30, 2021
Signals
3 dated events
- M•••••••• C••••••• L•• reported RAUM $3.8B, down 33% from $5.6B (2021-07-29 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- M•••••••• C••••••• L•• reported RAUM $5.6B, up 49% from $3.8B (2020-03-23 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- M•••••••• C••••••• L•• reported RAUM $3.1B, up 60% from $2.0B (2017-05-01 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-235-0800reportedpublic record, Form ADV, Apr 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026